Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2009 | $150,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | $100,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | financial services | investor protection violation | 2009 | $425,000 |
IFMG Securities | | | investor protection violation | 2009 | $450,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $275,000 |
PNC Investments | PNC Financial Services | financial services | investor protection violation | 2009 | $250,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $250,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2009 | $1,000,000 |
ICAP Corporates LLC | CME Group | financial services | investor protection violation | 2009 | $2,800,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,400,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2009 | $1,000,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | $400,000 |
J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | $525,000 |
Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
Mutual Service Corporation | | | investor protection violation | 2009 | $1,500,000 |
RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
NatCity Investments, Inc. | | | investor protection violation | 2009 | $300,000 |
M&T Securities, Inc. | M&T Bank | financial services | investor protection violation | 2009 | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2009 | $200,000 |
M&I Financial Advisors, Inc. | | | investor protection violation | 2009 | $150,000 |
Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | $7,200,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2009 | $500,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
Multi-Financial Securities Corporation | | | investor protection violation | 2009 | $150,000 |
H. Beck, Inc. | | | investor protection violation | 2009 | $140,000 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
Leonard & Company | | | investor protection violation | 2009 | $60,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
Financial West Group | | | investor protection violation | 2009 | $5,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $2,000,000 |
First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
Leonard & Co. | | | investor protection violation | 2009 | $225,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2010 | $650,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | $690,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
Zions Direct, Inc. | Zions Bancorporation | financial services | investor protection violation | 2010 | $225,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2010 | $375,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | $2,500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2010 | $1,440,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | $7,500,000 |
Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2010 | $575,000 |
National Financial Services | | | investor protection violation | 2010 | $350,000 |
Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2010 | $135,000 |
Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | $1,500,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | $275,000 |
D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2010 | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2010 | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2010 | $200,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $1,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2011 | $2,050,000 |
Investors Capital Corporation | | | investor protection violation | 2011 | $400,000 |
Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | $250,000 |
Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2011 | $1,371,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $12,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |